GCSE, GCSE in vocational subjects,

GCE, VCE, GNVQ and AEA

Code of practice 2004/5

2004
First published in March 2004

© Qualifications and Curriculum Authority 2004

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Contents

Introduction 2

Section 1: Responsibilities of awarding bodies and awarding body personnel 4

Section 2: Awarding bodies’ relationships with centres 10

Section 3: Preparation of external assessments including provisional mark schemes 13

Section 4: Standardisation of marking: external assessment 18

Section 5: Standardisation of marking and moderation: internal assessment 24

Section 6: Awarding, issuing results and marking review 30

Section 7: Arrangements for candidates with particular assessment requirements 37

Section 8: Malpractice 39

Section 9: Enquiries about results and appeals 40

Section 10: Access to marked examination scripts 43

Appendix 1: GCSE-specific issues 45

Appendix 2: GCSE-specific issues for non-unitised qualifications 46

Appendix 3: Aggregation and grading for unitised qualifications 50

Appendix 4: Advanced Extension Award (AEA)-specific issues 57

Glossary of selected terms 58

 Introduction

The public has a legitimate interest in the continuing availability of high-quality

qualifications that are fit for purpose, command public confidence and are
understood, both by those who take them and those who use them. That interest
extends to the proper maintenance of consistent standards across awarding bodies and
over time. To that end new statutory arrangements came into effect in 1997 to
regulate external qualifications in England, Wales and Northern Ireland.

Following extensive consultation with key partners, the three regulatory authorities,
the Qualifications, Curriculum and Assessment Authority for Wales (ACCAC), the
Council for Curriculum, Examinations and Assessment (CCEA) and the Qualifications
and Curriculum Authority (QCA)1 published in September 2000 the Arrangements for
the statutory regulation of external qualifications in England, Wales and Northern
Ireland. The Arrangements were revised and published in 2004 as The statutory
regulation of external qualifications in England, Wales and Northern Ireland. This
document sets out the overarching criteria for the accreditation of qualifications into
the national qualifications framework. It also specifies the processes and procedures
required to ensure high quality, consistency and rigorous standards in assessment and
awarding across all qualifications within the framework and over time.

The GCSE, GCSE in vocational subjects, GCE, VCE, GNVQ and AEA code of
practice is designed to promote quality, consistency, accuracy and fairness in
assessment and awarding and reflects changes in government policy in relation to
these qualifications. The code will help to ensure that standards are maintained in
each subject, across awarding bodies and different specifications from year to year.
The code provides a basis for high standards in all aspects of the examining process
and therefore makes an important contribution to upholding public confidence in
these qualifications. To this end the GCSE, GCSE in vocational subjects, GCE, VCE,
GNVQ and AEA code of practice sets out:

■ agreed principles and practice for the assessment and quality assurance of GCSE,
GCSE in vocational subjects, GCE, VCE, GNVQ and AEA qualifications;

■ the responsibilities of awarding bodies, centres and regulatory authorities for the
provision and administration of assessment;

■ the basis upon which the regulatory authorities will systematically monitor the
performance of awarding bodies in maintaining the quality and standards across
the accredited qualifications they offer.

This code applies to the following qualifications:

■ GCSE;

■ GCSE in vocational subjects;

1 Hereafter referred to as the regulatory authorities.

2
■ GCE Advanced Subsidiary and Advanced level (including Advanced Extension
Awards);

■ VCE Advanced Subsidiary and Advanced (including double award);

! GNVQ specifications accredited for first teaching from September 2000;

! Free Standing Mathematics Qualifications (FSMQ).

Awarding bodies have agreed to implement this code of practice in full. It will be
reviewed regularly by the regulatory authorities in light of evidence from its
operational use.

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 Section 1: Responsibilities of
awarding bodies and awarding body
personnel

Awarding bodies’ governing councils

1. The awarding body’s governing council is responsible for setting in place

appropriate procedures to ensure that standards are maintained in each subject
examined from year to year (including ensuring standards between GCE and
VCE qualifications in similar subjects and between GCSE and GCSE in
vocational subjects are aligned), across different specifications within a
qualification, and with other awarding bodies. It should act upon feedback from
previous awards including recommendations from relevant monitoring and
other reports. The procedures must ensure that any necessary action is taken to
maintain parity of standards with other awarding bodies offering similar
qualifications. This action includes exchanging appropriate information with the
other awarding bodies and the regulatory authorities soon after awarding
meetings and before the publication of results. It also includes giving the
regulatory authorities access to inter-awarding body comparability studies and
providing raw data and final reports to an agreed timescale.

2. The responsibilities of the governing council, as discharged through its staff and
fee-earning personnel, are described below. The functions described should be
fulfilled for each qualification specification. One person may discharge more
than one role provided that the role does not produce a conflict of interest, such
as that between the roles of reviser and scrutineer. However, for each
specification, regardless of the size of its entry, the following separate roles
should be identified and fulfilled: awarding body officer (as distinct from any
examining personnel who are treated as direct employees of the awarding body),
chief examiner and reviser. The awarding body should provide appropriate
training and support to ensure that its personnel can carry out the functions set
out in this code of practice. The awarding body should monitor and evaluate
this provision to make sure that it is effective and remains fit for purpose.

3. Where additional tiers of personnel are needed to cope with the numbers of
candidates involved in a particular specification, one person must have overall
responsibility.

4. The governing council must ensure that regulatory authority representatives are
provided with all the information they require, and are given access to such
meetings and staff as the regulatory authorities deem necessary for them to
carry out their duties. The governing council should work in co-operation with
regulatory authority representatives to ensure, as far as possible, that schedules
are arranged to facilitate their work.

4
5. The awarding body will appoint a single named person accountable directly to
its governing council for ensuring the quality and standards of its qualifications
(the accountable officer). In doing so, the awarding body guarantees to the
regulatory authorities that it ensures:

i. all necessary action will be taken to maintain parity of standards in each

subject and qualification from year to year, across different specifications,
and with other awarding bodies;

ii. compliance with the requirements of this code of practice and The
statutory regulation of external qualifications in England, Wales and
Northern Ireland and other relevant regulations;

iii. effective means for the consideration of the recommendations of the

chairs of examiners;

iv. the awarding body’s participation in comparability and monitoring

activities, and that such changes as this work shows to be necessary are
made.

Awarding body officers

6. Awarding body officers manage all stages of the examining process to ensure
that:

i. they are carried out in accordance with this code of practice and with the
awarding body’s policies and procedures;

ii. fee-earning personnel and committees are provided with all necessary
administrative, subject specialist and technical support;

iii. awarding body senior management, including the accountable officer, are
alerted to issues or concerns that arise during the process.

Chair of Examiners

7. A chair of examiners2 is responsible to the awarding body for maintaining

standards across different specifications in a subject within a qualification, and
from year to year. The chair of examiners must:

i. chair the question paper evaluation committee meetings, where possible,

for every specification in the subject in that particular qualification type;

ii. monitor the standards of chief examiners and advise on their

appointment, training and re-appointment;

iii. chair the awarding meeting(s) and recommend grade boundaries for each
specification to the awarding body;
2 An assistant chair of examiners can be appointed, subject to the approval of the regulatory authorities,
where the awarding body considers this to be appropriate. When this option is taken, it is the responsibility
of the awarding body to ensure that arrangements are made for coordinating the work of assistant chairs of
examiners. The chair of examiners will remain the single point of accountability.

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 iv. submit, as directed by the awarding body, an overall evaluation report on
the internal and external assessment for the qualification.

Chief Examiner

8. The chief examiner3 for a specification is responsible to the chair of examiners

for ensuring that the examination as a whole – including both internal and
external assessment – meets the requirements of the specification and maintains
standards year on year. The chief examiner must:

i. act as principal examiner or principal moderator for at least one

component;

ii. supervise the construction of question papers4 and mark schemes and,
where appropriate, the criteria for internal assessment, to ensure
appropriate standards;

iii. ensure that the external assessments, as a whole, cover the assessment
criteria, as set out in the specification, and satisfactorily sample the
appropriate content;

iv. ensure that, over a reasonable number of years, the examination as a

whole will address all the specification content;

v. seek to ensure parity across alternative components and options in terms

of the demands made on candidates;

vi. monitor the standards of principal examiners and principal moderators

and advise on their appointment, training and re-appointment;

vii. submit, as directed by the awarding body, an evaluation report on the

examination in that specification.

Principal Examiner

9. The principal examiner is responsible for the setting of the question paper/task
and the standardising of its marking. The principal examiner must:

i. set the questions and mark schemes for the question paper or approve
those set by other examiners;

ii. seek to ensure parity of standards across optional questions in the paper
and assist the chief examiner in ensuring parity of standards across
optional papers;

3 Assistant chief examiners can be appointed, subject to the approval of the regulatory authorities, where the
awarding body considers this to be appropriate. When this option is taken it is the responsibility of the
awarding body to ensure that arrangements are made for coordinating the work of the assistant chief
examiners. The chief examiner will remain the single point of accountability.
4 The term ‘question papers’ applies to all externally assessed components including tasks and awarding body
set assignments.

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 iii. monitor the standards of marking of all the examiners for the paper,
including any assistant principal examiners and team leaders, and take
appropriate steps to ensure accuracy and consistency;

iv. advise on the appointment, training, and re-appointment of assistant

principal examiners, team leaders and assistant examiners for the question
papers;

v. advise the awarding committee on how the question paper functioned,

and recommend preliminary mark ranges for the judgmental grade
boundaries for the question paper;

vi. submit to the chief examiner an evaluation report on the performance of

the question paper/task.

Reviser

10. The reviser is required to:

i. provide written comments on early drafts of question papers/tasks and

provisional mark schemes;

ii. work through question papers, where appropriate.

The awarding body may appoint more than one reviser for each examination.

Scrutineer

11. The scrutineer is responsible for:

i. checking the final drafts of all question papers/tasks without reference to

the mark schemes to ensure that the questions can be answered in the
time allowed and that there are no errors or omissions;

ii. working through question papers, where appropriate;

iii. checking the mark scheme to ensure that the marks given are identical to
those on the question paper;

iv. preparing a report for the awarding body officer.

Assistant examiners

12. Assistant examiners are responsible for marking candidates’ work in accordance
with the agreed mark scheme and marking procedures.

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 Principal moderator

13. The principal moderator for each internally assessed unit/component is

responsible to the chief examiner for ensuring that the standards of the
unit/component are maintained and are consistent with the unit specification
and assessment criteria. The principal moderator must:

i. compile exemplar work, annotated to show how the assessment criteria

are to be applied;

ii. ensure that moderators meet the standardisation requirements and take
action if any moderator fails to maintain the required standard;

iii. ensure that all moderators correctly interpret and apply the assessment
criteria and that they are using the same criteria as the awarding body
provides for the internal assessors;

iv. monitor the standards of assistant principal moderators, team leaders and
assistant moderators, and advise on their appointment, training and re-
appointment;

v. ensure that appropriate preparatory, follow-up and remedial work with

centres is carried out;

vi. advise the awarding committee on how the component functioned and,
where appropriate, recommend preliminary mark ranges for the
judgmental grade boundaries;

vii. submit to the chief examiner an evaluation report on issues relating to the
performance of the component.

Assistant moderators

14. Assistant moderators are responsible for moderating centres’ assessment of

candidates’ work in accordance with the agreed assessment criteria and the
awarding body’s procedures.

Assistant principal examiners, assistant principal moderators and

team leaders

15. Assistant principal examiners, assistant principal moderators and team leaders
must be appointed where required by the size of entry. Assistant principals are
responsible for a group of team leaders where the span of control would
otherwise be too great for the principal examiners or principal moderators.
Team leaders supervise a team of assistant examiners or assistant moderators.
They must act as mentors for new appointees, check and guide the work of
members of their team, and advise on the need for adjustments to assistant
examiners’ marks or assistant moderators’ recommendations.

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Maintaining an archive

16. While a specification remains in use, the awarding body must maintain a full
archive containing marked scripts at each key grade boundary covering both
series for at least the last five series. In addition, the awarding body must retain
equivalent evidence from the first examination of the specification, to guide the
work of examiners and awarders.

17. The awarding body must also supply material in accordance with the
requirements of the National Archive.

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 Section 2: Awarding bodies’
relationships with centres

Administrative demands and confidentiality

18. The awarding body’s demands on centres must be the minimum necessary to
support professional competence and maintain the integrity of the examination.
Awarding bodies must agree collectively – and comply individually – with
common administrative and other practices in areas specified by the regulatory
authorities to an agreed timetable and standard.

19. The awarding body must produce and distribute clear statements of
administrative procedures and products that impact on centres.

20. The awarding body must take precautions to ensure the confidentiality of
examinations. These precautions must ensure that scripts from externally
assessed components and copies of them are seen by no one other than
awarding body staff and fee-earning personnel, representatives of the regulatory
authorities and authorised staff at the candidate’s centre until the closing date
for enquiries about results.5

Responsibilities of centres

21. The awarding body must require centres offering its examinations to commit
themselves to ensuring that:

i. they meet the administrative requirements of the awarding body;

ii. they comply with regulations concerning the security and confidentiality
of external assessments;

iii. they conduct external assessments in accordance with the standards and
procedures specified by the awarding body for the qualification;

iv. internal assessments are conducted by staff who have the appropriate
knowledge, understanding and skills in the area being assessed;

v. assessment evidence provided by candidates has been produced and

authenticated according to the requirements of the specification;

vi. they secure the consistency of internal assessment through internal

standardisation where more than one assessor is involved;

5 This does not exclude candidates’ rights to access to script arrangements as detailed in section 10 of this
document.

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 vii. they avail themselves of the training and guidance offered by the
awarding body that is needed to ensure understanding of the expectations
of the specification, including attendance at any compulsory training
sessions for internal assessors;

viii. they retain candidates’ assessment evidence under secure conditions to

allow for the possibility of enquiries about results or appeals. If the nature
of the work makes retention of portfolios or artefacts a problem, internal
assessors must keep sufficient evidence (documentary, photographic,
audio-taped or video-taped, as appropriate) to support their judgements;

ix. published appeals procedures relating to internal assessment decisions are

made widely available and accessible to all candidates;

x. they meet requests from the awarding body for information for the
purpose of moderation and monitoring;

xi. they comply with the procedures of the awarding body for dealing with
and, as appropriate, reporting malpractice.

Reporting results

22. The awarding body must report results on a consistent basis applicable to all
specifications within a qualification. Information about results must be
presented in a clear and readily understood manner. Candidates, centres and
other recipients of information about results must receive such information in a
standard format.

23. The outcomes of the assessment of individual units must be reported.

Feedback to centres

24. The awarding body must provide a mechanism for receiving and responding to
comments from centres and others about their examinations, and for providing
information about the performance of candidates where appropriate. Where an
awarding body offers examinations through the medium of Welsh or Irish
(Gaeilge), the awarding body should have a published policy about
communicating bilingually with the centres involved, which is included in their
customer service statement. In the case of Welsh, the statement should have due
regard to the principle that in Wales, both Welsh and English will be treated on
the basis of equality, insofar as it is both appropriate in the circumstances and
reasonably practicable.

25. The awarding body will take steps to help ensure that centres carry out their
procedures correctly and that instructions given to centres have been followed.

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 Support and guidance

This section of the code should be read in conjunction with section 5 ‘Standardisation
of marking and moderation: internal assessment’.

26. The awarding body must ensure that centres have access to regular advice and
guidance on the teaching and assessment of qualifications that are covered by
this code of practice, supported by meetings as appropriate.

27. The awarding body must provide appropriate support and guidance for teachers
and internal assessors when a specification involving new techniques and
approaches is introduced. This must take the form of written guidance,
supported by meetings as appropriate.

28. The awarding body must provide opportunities – normally in the form of
meetings – where teachers and internal assessors can discuss relevant
qualifications issues, particularly in the case of new specifications where
difficulties may arise across centres.

29. The awarding body must provide further guidance to centres that fail to meet
the requirements for internal assessment and attendance at training sessions.

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Section 3: Preparation of external
assessments including provisional
mark schemes

This section should be read in conjunction with the appropriate appendix.

Division of responsibilities

30. The awarding body personnel involved in setting question papers/tasks and
mark schemes include the chair of examiners, chief examiner, principal
examiner(s), scrutineer, reviser, and awarding body officer(s). Their
responsibilities are described in section 1.

31. The chief examiner and principal examiner(s) are responsible for:

■ demonstrating how the specification’s content and assessment criteria and

objectives have been met in the question paper or task. This may take the
form of a grid;

■ ensuring that the manner in which the content is tested in questions is

clear and fit for purpose;

■ ensuring that, where candidates can choose between questions, it can be

demonstrated that any permitted combination of questions provides for
the coverage of a similar balance of content and assessment criteria;

■ taking account of feedback from previous assessment sessions, including

recommendations from relevant monitoring reports;

■ ensuring final draft question papers meet the specification content and
assessment objectives.

The timetable for drafting the question papers and provisional mark schemes
must allow for all the above.

Preparing external assessments including provisional mark schemes

32. Question papers/tasks and provisional mark schemes must be produced at the
same time. Awarding bodies must make sure that they have contingency plans in
place that allow them to react swiftly in the event of question paper security
being breached before an examination.

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 Assessment of written communication

33. Where the scheme of assessment requires candidates to produce extended

written material in English, Irish or Welsh, the marks awarded will take into
account the quality of written communication as defined by the appropriate
qualification type criteria.

Revising the question papers and provisional mark schemes

34. The reviser(s) must:

i. scrutinise the initial draft question papers/tasks and mark schemes;

ii. check that the nature and range of responses required by the mark scheme
are appropriate;

iii. comment on individual questions and responses and the draft question
paper(s) as a whole.

Account should be taken of feedback from previous examination sessions,

including recommendations from relevant monitoring reports where these are
available.

35. The initial draft question papers and mark schemes must be amended in the
light of the comments and forwarded, together with the original comments of
the reviser(s), to the awarding body officer for consideration by the question
paper evaluation committee.

Evaluating external assessments and mark schemes

36. A committee, normally chaired by the chair of examiners, must be convened to

evaluate the question papers/tasks. The chief examiner and the principal
examiner responsible for the particular units/components must attend. In
addition, the question paper evaluation committee should include the reviser(s)
and may also include members of the subject committee who have recent and
relevant teaching or examining experience. Where there is more than one
specification in a subject within a particular qualification, membership of the
committee should overlap (chair of examiners and at least one other member).
Where the question paper/task is to be offered through the medium of Welsh or
Irish (Gaeilge), at least one member of the committee should normally have the
necessary expertise to advise on Welsh/Irish (Gaeilge) medium issues.

37. The committee must be serviced by an awarding body officer, who will provide
administrative and technical support and guidance, and ensure that awarding
body policies are observed.

38. When the draft questions/tasks and provisional mark schemes are submitted to
the committee, they must be accompanied by the reviser’s comments and details
indicating where the content and assessment criteria for the specification have
been met in the questions/tasks.

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39. The committee will seek to ensure that the challenge and level of demand of the
question papers and mark schemes are maintained year on year, referring, as
appropriate, to previous years’ question papers/tasks and mark schemes where
these exist. For reasons of confidentiality the committee should not expect to
have sight of question papers/tasks from the previous year where these have not
been taken.

40. Where there is more than one specification in a subject within a particular
qualification type, the chair of examiners must seek to ensure that the question
papers set for the different specifications make comparable demands on
candidates.

41. The committee will ensure that the question papers/tasks and provisional mark
schemes meet the requirements of the assessment criteria as set out in the
specification, and are of consistently high quality. As part of this work, the
committee must ensure where appropriate that:

Rubrics
i. are presented in a standard format and printed in a consistent style that
readily distinguishes them from questions;

ii. are written so that candidates can distinguish between advice, instructions
and information;

iii. indicate where candidates are expected to produce extended written

material, and marking will take into account their quality of written
communication;

iv. detail any resources required, eg dictionaries, maps or calculators;

Questions/Tasks
v. are within the specification;

vi. can be answered in the time allowed;

vii. use language which is clear, precise and intelligible to candidates;

viii. use source material which does not cause offence because of inappropriate
subject matter or language;

ix. are not identical in successive years or examinations except for some
VCE/GNVQ set assignments where the vocational context must not be
identical in successive examinations;

Question papers or tasks

x. show mark allocations;

xi. do not, as far as is practicable, advantage or disadvantage particular

groups of candidates on grounds other than competence in the subject;

xii. make comparable demands on candidates, for alternative routes in the

specification;

15
 Mark schemes
xiii. include general instructions on marking;

xiv. are clear and designed so that they can be easily and consistently applied;

xv. allocate marks commensurate with the demands of tasks/questions;

xvi. include the mark allocation for each question/task and part of a
question/sub-task, with a more detailed breakdown where necessary;

xvii. include marking instructions for those questions where extended written
answers are expected and the quality of written communication used by
candidates will be assessed;

xviii. include an indication of the nature and range of responses, appropriate to

the subject, likely to be worthy of credit;

xix. state the acceptable responses to each question/task, or part thereof, with
detail which allows marking in a standardised manner;

xx. allocate credit for what candidates know, understand and can do;

Equipment or materials
xxi. required for any awarding body-set externally assessed test or task,
including practicals, are specified in sufficient detail for the assessment to
be carried out properly. The requirements for any such test/task should
not make unreasonable demands on centres.

Checking the question papers and provisional mark schemes

42. The awarding bodies must ensure they have appropriate arrangements in place
to evaluate those question papers and mark schemes which have been
extensively rewritten at the original question paper evaluation committee
meeting.

43. Question papers/tasks and provisional mark schemes will be checked by the
scrutineer. This process will include:

i. checking the final drafts of the question papers/tasks, without reference to

the mark schemes, to ensure that the questions can be answered in the
time allowed and that there are no errors or omissions;

ii. working through the question papers where appropriate;

iii. checking the mark schemes to ensure that the marks given are identical to
those on the question papers;

iv. preparing a report for the awarding body officer.

44. The report will be sent to the chief examiner, who must then approve any
necessary changes to the question papers/tasks and provisional mark schemes.

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45. The final draft question papers and provisional mark schemes must be
submitted for final approval to the chair of examiners or awarding body officer.
Where the external assessment is to be offered through the medium of Welsh or
Irish (Gaeilge) the final Welsh/Irish (Gaeilge)-medium draft will be checked by a
Welsh/Irish medium specialist who will advise the chair of examiners or
awarding body officer on its approval.

46. Awarding body officers must alert appropriate senior management if they
believe there has been a breach of the awarding body’s policy. Senior
management must act decisively and promptly to maintain quality and
standards.

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 Section 4: Standardisation of
marking: external assessment

This section should be read in conjunction with the appropriate appendix.

Division of responsibilities

47. The awarding body personnel involved in the standardisation of marking

include: the chair of examiners, chief examiner, principal examiner, assistant
principal examiners, team leaders, assistant examiners and awarding body
officer(s). Details of their responsibilities are given in section 1.

48. The principal examiner must be responsible for the professional judgements
underpinning the process of standardisation for one or more specified
units/components. An awarding body officer must be responsible at all times for
supervising and guiding the proceedings and for ensuring that all steps in the
process are implemented. There must be a chief examiner responsible for the
examination as a whole.

Number of examiners

49. There must be one principal examiner for each unit/component but where
candidate numbers are small, the chief examiner may be responsible for all
units/components and mark all the work. Under such circumstances the chief
examiner should have recourse to a second opinion, as should any examiner
who is the sole marker of a unit or component. This will normally be provided
by the chair of examiners.

50. In the interests of reliable marking, and the reduction in scope for variability,
the awarding body should ensure that marking is undertaken by the minimum
possible number of examiners. In arriving at this minimum number, the
awarding body must ensure that the number of scripts6 allocated to assistant
examiners:

i. takes account of the nature of the unit/component being assessed and the
time required to mark candidate work;

ii. takes account of the experience of examiners and, within limits to be

specified by the awarding body, the quantity of scripts they are able to
manage during the marking period.

6 The term ‘scripts’ applies to the outcome of any externally assessed component including tasks and awarding
body set assignments.

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 Where principal examiners, assistant principal examiners and team leaders are
appointed, the number of scripts allocated must take their duties into
consideration.

51. Where there are Welsh or Irish (Gaeilge)-medium scripts, the allocation of these
scripts to examiners must ensure that standardisation and monitoring of
marking can be undertaken, even when the supervising examiner is not able to
mark scripts in the medium of Welsh or Irish (Gaeilge). This will normally entail
allocating both Welsh/Irish and English-medium scripts to Welsh/Irish medium
examiners.

52. Assistant examiners will normally mark scripts from a number of different
centres, subject to their total load being manageable. They should not mark
work from any centre in which they have a personal interest. In the case of sole
examiners where this requirement cannot be applied, arrangements must be
made to ensure that the marking is scrutinised.

53. Where the number of examiners required demonstrably exceeds that which a
chief examiner or principal examiner could reasonably oversee unaided, a team
structure must be established. The number of teams should be kept to the
minimum needed to secure reliable and consistent marking. The relationships
between, and the functions of, examiners with a responsibility for supervising
others should be clearly specified to secure the efficient monitoring and
management of marking.

Team membership and training

54. All examiners should have relevant experience in the subject area. The
membership of marking teams should normally be balanced in terms of prior
marking experience. Where team leaders are appointed, they will normally have
examined for at least two years in the same or a related subject. The same
requirement applies to principal examiners and the chief examiner, whose
responsibilities are detailed in Section 1.

55. First-time examiners must receive appropriate training encompassing all aspects
of the examining process relevant to their role before marking scripts. During
assistant examiners’ first marking period, and on subsequent occasions if
necessary, they should be allocated a mentor, normally a team leader, to provide
close continuing support throughout the marking period.

First-hand marking

56. Principal examiners and, where appointed, team leaders should mark sufficient
scripts at first-hand to gain a feel for the performance of candidates, and to gain
direct evidence of the interpretation of questions (by candidates) and the
application of the mark scheme.

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 The standardisation process

57. All examiners must be expected to study and provisionally mark a sufficiently
wide range of scripts before attending the standardisation meeting. The
awarding body should give guidance on the selection of scripts to ensure that a
suitable sample is marked. Special provision must be made for familiarising new
assistant examiners with the marking process.

58. All examiners must satisfactorily complete all aspects of the standardisation
process relevant to their responsibilities; inability or failure to do so will result
in disqualification from marking. Where disqualification occurs, the awarding
body must take steps to ensure the integrity of the marking process.

Meeting to secure consistent application of the mark scheme

59. A meeting of all examiners must be held, except where a meeting is not
required, for example when there is only one examiner. An awarding body
officer will normally be present at the meeting in order to explain the
administrative procedures of the awarding body to the examiners.

60. The awarding body must ensure that all examiners have a well-founded and
common understanding of the requirements of the mark scheme and can apply
them reliably. This is the responsibility of the principal examiner whose
professional judgements on the interpretation and application of the mark
scheme for the component must be final. Where there are large numbers of
examiners divided into teams, the awarding body must ensure that co-
ordination of all assistant principal examiners and team leaders takes place to
ensure consistency of practice.

61. The process of helping to secure the consistent application of instructions to

markers must include:

i. an administrative briefing, normally by an awarding body officer,

including reference to this section of the code, awarding body procedures,
time schedules, administrative documentation and contact points;

ii. an explanation by the principal examiner of the nature and significance of

the standardisation process;

iii. a briefing by the principal examiner on relevant points arising from

previous examinations, drawing as necessary on relevant statistical data
and points made in chief examiners’ reports and regulatory authorities’
monitoring reports;

iv. discussion of marking issues, including:

■ a full consideration of the mark scheme in the context of achieving a

clear and common understanding of the range of acceptable responses
and the marks appropriate to them, and comparable marking
standards for optional questions;

20
 ■ the handling of unexpected, yet acceptable, answers;

v. the marking of a number of common, clean, photocopied responses

sufficient to illustrate the range of performance likely to be demonstrated
by the candidates in an assistant examiner’s allocation and to help
consolidate a common understanding of the mark scheme, including any
criteria for the assessment of written communication.

62. Where changes are made to the original mark schemes an awarding body officer
must be responsible for providing revised mark schemes which are issued to all
examiners during the meeting, or as soon as possible afterwards. The revised
mark schemes must be agreed, authorised and signed by the principal examiner.
Assistant examiners must not finalise marking until they have received this
authorised version. In the case of small-entry tests, even where there is only one
examiner, final detailed mark schemes will be prepared.

Initial sampling to ensure consistent application of the mark scheme

63. Immediately after the standardisation meeting of examiners, assistant examiners

must mark fully a sample of scripts (which may include the re-marking of those
marked provisionally for the standardisation meeting) and forward them to a
more senior examiner. The sample will normally:

i. be not fewer than ten scripts;

ii. cover the range of attainment within the allocated scripts;

iii. cover as many of the questions as possible on the question paper which
allow choice, or as many different types of response as possible.

The awarding body should have defined procedures in place which seek to
ensure that principal examiners’ marking is consistent.

64. Senior examiners must check the marking of scripts by the assistant examiners
for whom they are responsible to ensure that the authorised mark schemes are
being accurately and consistently applied. A record must be kept of the marks
awarded by each examiner and of the accompanying explanatory comments.

65. Examiners must not proceed to finalise any marking until they have received
clearance from the relevant senior examiners. Where senior examiners are not
satisfied with the quality of marking, they must explain the reasons to the
examiners concerned and require the sample of scripts to be re-marked. A
further sample, normally of the same size, should then be sent for checking.
Only if marking is then satisfactory should examiners be allowed to proceed.
Examiners who do not display sufficient care, accuracy or consistency of
professional judgement by this stage must not be allowed to continue marking
and their scripts should be re-allocated.

21
 Monitoring and adjusting marks

66. The continuing marking of all examiners must be monitored by the appropriate
senior examiner, and if necessary, the appropriate corrective action taken.
Sampling must be of sufficient scale, range and frequency for the awarding body
to demonstrate that confidence can be placed in the monitoring process. Marks
from this sampling process should be recorded by the senior examiner and used
to construct a profile of the quality of marking of each examiner in terms of
accuracy, consistency and leniency/severity.

67. A review of the entire marking process must be undertaken to decide if any
adjustments should be made to the marks of individual examiners. The review
must involve the awarding body officer, chief examiner, principal examiners
and, where appointed, team leaders. The awarding body officer will be
responsible for any changes made to the marks of individual examiners. Where
adjustments are made to the marks of examiners who have marked both
Welsh/Irish (Gaeilge) and English-medium scripts, the marks for scripts in both
languages must be changed.

68. Adjustments to the marks of individual examiners must not be made without
reference to:

i. sufficient scripts marked by the individual examiner to confirm, or refute,

any suspected shift in accuracy, consistency and leniency/severity;

ii. how the marking of individual examiners compares with that of the
relevant senior examiners;

iii. appropriate statistical evidence eg raw mark distributions;

iv. where possible, the distribution of performance of the same candidates on

different papers marked by different examiners.

69. Where required because of examiner inaccuracies, positive or negative

adjustments of appropriate size should be made across the relevant range of
marks. In order to be fair to candidates, awarding bodies will ensure that
adjustments do not change the examiner’s rank order unless the examiner has
been demonstrably inconsistent.

70. The process of adjustment will be fully documented for subsequent reference if
necessary.

Checking marking

71. The processing of the examination will include checks to ensure that all marks
have been accurately recorded and transcribed, and that adjustments have been
correctly applied and the marks accurately amended. All scripts must be checked
for incomplete marking and errors in totalling.

22
72. The awarding body should monitor and evaluate the performance of examiners
and take appropriate action to maintain standards in future examinations.

Supervising externally assessed set assignments

73. The awarding body must specify the conditions under which externally set
assignments can be undertaken. The conditions specified must facilitate the
supervision and authentication of candidates’ work by the centre.

74. The awarding body must require centres to record full details of the nature of
any substantial assistance given to individual candidates that is beyond that of
the teaching group as a whole, but within the parameters laid down by the
specification.

75. The awarding body must require centres to confirm that they have satisfied
themselves that the work is that of the candidate and has been carried out
within the parameters governing assistance. The centre must present a written
declaration that the candidate’s assignment was conducted under the required
conditions. The awarding body must make centres aware of the likely
consequences if excessive assistance outside the parameters of the specification is
given.

Retaining evidence

76. The awarding body must ensure that candidates’ original scripts are available
for reference during the awarding meeting. All scripts must be retained for a
sufficient period of time thereafter to allow for the possibility of enquiry about
results, or appeals.

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 Section 5: Standardisation of marking
and moderation: internal assessment

This section should be read in conjunction with the appropriate appendix.

Division of responsibilities

77. The awarding body personnel involved in the assessment and moderation of
internal assessments include: the chair of examiners, chief examiner, principal
moderator, assistant principal moderator, team leaders, assistant moderators and
awarding body officer(s). Details of their responsibilities are described in section 1.

78. The awarding body must appoint a principal moderator for each internally
assessed unit/component. The principal moderator must have substantial
relevant experience of teaching and assessment in the subject area concerned.

79. The awarding body must appoint assistant moderators and, where necessary,
assistant principal moderators and team leaders, with relevant teaching and
assessment experience. The number of moderators appointed must be sufficient
to ensure that standards in a given specification can be aligned effectively within
and across centres to the timescale required. Moderators must, wherever
possible, consider work from several centres, subject to their total load being
manageable, and must not normally moderate the work of candidates from any
centre in which they have a personal interest. An awarding body officer must be
responsible at all times for supervising and guiding the proceedings, and for
ensuring that all steps in the process are implemented.

Instructions, training and guidance for internal assessors

80. The awarding body must provide clear and comprehensive instructions and
guidance to internal assessors. Centres and internal assessors must be given
comprehensive information and feedback to ensure that they understand and
can meet their responsibilities in relation to the requirements of the
specification. The awarding body must provide training for internal assessors
and teachers in task-setting, marking and internal standardisation where new or
significantly revised specifications are introduced and as necessary, thereafter.
The awarding body will monitor and evaluate the effectiveness of the
instructions, training and guidance provided for internal assessors, so that they
can be continually improved.

81. The awarding body must provide centres with clear administrative instructions,
including details of how to record, transcribe and check individual candidates’
marks. Guidance must also be given on how to make decisions and record
relevant information.

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Setting internally assessed tasks

82. The awarding body must set down parameters and guidance for task-setting,
and must publish detailed assessment criteria. The parameters must define the
scale and nature of tasks that are acceptable; the marking criteria must require
the appropriate assessment objectives to be fully addressed.

83. Where the scheme of assessment requires candidates to produce extended

written material in English, Irish or Welsh, the marks awarded will take into
account the quality of written communication as defined by the appropriate
qualification type criteria.

84. Whenever a new or significantly revised specification is introduced that involves

new internally assessed tasks, the awarding body must take steps to ensure that
the tasks and mark schemes that centres devise are of an appropriate standard
and conform to the requirements of the specification.

Supervising internal assessment

85. The awarding body must specify the conditions under which internally assessed
work can be undertaken. The specified conditions must facilitate the supervision
and authentication of candidates’ work by teachers and internal assessors.
Where, because of the nature of the subject, the specification requires centre-
based candidates to undertake some internally assessed activities outside their
school or college, the awarding body must require that sufficient work takes
place under direct supervision to allow the internal assessors concerned to
authenticate each candidate’s work with confidence. The awarding body must
ensure that moderators apply awarding body guidelines relating to word limits.

86. The awarding body must specify the degree to which candidates are allowed to
re-draft their work prior to it being marked by the internal assessor.

Authentication of candidates’ work

87. The awarding body must require internal assessors to record full details of the
nature of all assistance given to individual candidates that is beyond that of the
teaching group as a whole, but within the parameters laid down by the
specification. The awarding body must require internal assessors to take any
assistance into account, according to the awarding body’s instructions, when
assessing candidates’ work.

88. The awarding body must require internal assessors to confirm that they have
taken steps to satisfy themselves that work produced is solely that of the
candidate concerned. This does not preclude normal assistance within the
parameters of paragraph 82. The internal assessor must present a written
declaration that the candidate’s work was conducted under the required
conditions as laid down by the specification. Where awarding bodies accept
entries from private/external candidates they must ensure that adequate
procedures exist for the authentication of internally assessed components.

25
 Assessment and standardisation within centres

89. The awarding body must require internal assessors to show clearly how credit
has been assigned in relation to the criteria defined in the specification. Internal
assessments must indicate where quality of written communication will be
assessed, where this is appropriate. The awarding body must provide guidance
on how this is to be done.

90. Where the regulatory authorities have agreed that the nature of the subject
requires credit to be allocated for the skills displayed by candidates in redrafting
and refining work, the awarding body must ensure that internal assessors are
given explicit parameters defining the limits within which they may give
feedback to candidates.

91. The awarding body must require centres to standardise assessments across
different assessors and teaching groups. This is to ensure that for a particular
unit/component all candidates in the centre have been judged against the same
standards. The awarding body must specify the necessary procedures, including
the use of reference and archive materials where available, and trial marking of
common pieces of work. The awarding body must normally provide training in
the form of written guidance, supported by meetings as appropriate.

92. The awarding body must provide an opportunity for centres to check they are
applying the assessment criteria appropriately.

Moderating assessments submitted by centres

93. To ensure that standards are aligned within and across centres, the awarding
body must moderate the marks submitted by each centre against the specified
assessment criteria.

94. The awarding body must adjust the marks submitted by centres as necessary to
bring each centre’s judgements into line with the required standard. The
awarding body must take remedial action where there is evidence of standards
being applied inconsistently, or of other departures from specification
requirements.

95. The awarding body must provide centres with details of the moderation
procedures that apply to a specification, amplifying as necessary the account
printed in the specification itself. The documentation must confirm the
awarding body’s right to act as it judges necessary to align standards. In
particular, arrangements must be specified for:

i. requesting, as necessary, at appropriate stages during and at the end of the

course, samples of specific internal assessments and associated assessment
criteria to indicate how credit has been assigned;

ii. drawing samples of marked, internally standardised candidates’ work, to

cover the full range of units and to represent adequately the range of
attainment in the centre;

26
 iii. sampling the judgements made by all internal assessors where there is
evidence that this is necessary in order to guarantee confidence in the
internal assessment process;

iv. requesting additional samples or all relevant work from all candidates, if
necessary;

v. establishing whether a centre’s marks require adjustment, determining the

nature of any required adjustment and making the necessary changes;

vi. giving centres details of and reasons for any significant adjustments made.

96. The awarding body must normally adjust marks from a centre where the
difference between moderated and unmoderated marks exceeds the awarding
body’s specified tolerance limits. Final decisions must be based on full
consideration of the sample of candidates’ work. Additional samples must be
requested if initial samples indicate that required standards are not being
applied, but provide insufficient evidence to determine the appropriate remedial
action to be taken. To be fair to candidates, awarding bodies should ensure that
adjustments do not change the centre’s rank order, unless the centre marks are
demonstrably inconsistent.

97. Statistical information must be used, where applicable, in order to inform the
awarding body’s final judgements on marks awarded.

Methods of moderation

98. The awarding body must use one or more moderation methods that are reliable
and valid for the subject area concerned. Where an awarding body offers
examinations through the medium of Welsh or Irish (Gaeilge), the moderation
methods must ensure reliable and valid moderation of Welsh/Irish
(Gaeilge)-medium internally assessed work. For specifications in which internal
assessment leads to written outcomes, moderators must inspect samples of
candidates’ written work.

99. For specifications in which a weighting of more than 20 per cent is allocated to
assessments from which no written outcome or artefact arises, moderators must
either visit centres while assessment is in progress or check audiotaped or
videotaped samples of assessed work.

100. For specifications in which a weighting of more than 20 per cent is allocated to
the assessment by artefacts, samples of candidates’ actual work must be
reviewed wherever possible, for example by visit or by post. Where logistical
problems mean there is no sensible alternative, the awarding body can agree to
moderate on the basis of photographed or videotaped evidence accompanied by
internal assessors’ notes detailing the basis for their assessment decisions.

101. For specifications in which a weighting of 20 per cent or less is allocated to

assessments that lead to no written outcome or artefact, the awarding body
must take all steps necessary to promote consistency of standards.

27
 Standardisation of moderators

102. The awarding body must provide training and follow-up guidance for
moderators in all relevant aspects of the internal assessment units and the
moderation procedures. All moderators must take part in the training.

103. The awarding body must arrange for the standardisation of all moderators, to
ensure common understanding of procedures and standards before moderation
begins. This is the responsibility of the principal moderator who will ensure that
the standards of the unit/component are maintained and are consistent with the
specification and assessment criteria. Normally, a meeting will be required.
Where the number of moderators is sufficiently large to require the formation of
teams, pre-standardisation of all assistant principal moderators and team leaders
must take place to ensure consistency of practice. All standardisation must
include the consideration of archive material, where appropriate, selected to
show candidates’ work assessed in relation to the full range of assessment
criteria and exemplar material, where available.

104. Principal moderators and, where appointed, assistant principal moderators and
team leaders must each undertake some first-hand moderation of centres’
assessments in each examination series.

105. The standards applied by each moderator must be checked by a more senior
moderator, who repeats the assessment of candidates’ work on a specified,
representative sample of the moderator’s allocation. Where an awarding body
offers examinations through the medium of Welsh/Irish (Gaeilge) the allocation
of candidate work to each moderator must allow the checking of the work of
Welsh/Irish-medium moderators by senior moderators.

106. Samples to be reassessed by the senior moderator must include, wherever

possible, some centres for which adjustments are recommended and some for
which no adjustments are recommended. A centre for which a comparatively
large overall adjustment is proposed should be included. If the senior moderator
is not satisfied with the moderator’s standards, a further sample of the
moderator’s allocation must be requested and reassessed.

107. The senior moderator must complete a report for the awarding body on the
work of each moderator. Moderators whose standards are judged unsatisfactory
may not continue their moderation, and candidates’ work from all their centres
must be remoderated. Such moderators may not be re-appointed without
completing further training satisfactorily.

108. Where candidates’ moderated work or evidence of that work cannot, for
logistical reasons, be posted or inspected at a meeting, the senior moderator
must normally accompany the moderator on at least one visit to a centre
(normally a centre specified by the senior moderator or the awarding body) to
check the moderator’s judgements.

28
109. Moderators must be provided with clear administrative instructions, including
details of how to record, transcribe and check moderated marks. The awarding
body must ensure that checks are made on the accuracy with which moderators
record and transcribe marks.

Re-using marks

110. Where candidates repeat non-modular qualifications, their moderated

coursework marks may be carried forward during the lifetime of the
specification.

Dealing with unsatisfactory practice

111. Further guidance must be provided to centres that fail to meet the awarding
body’s requirements for internal assessment.

112. Where a significant problem occurs - including non-attendance at compulsory

training sessions - the awarding body must approve and monitor the centre’s
arrangements for assessment and standardisation for as long as necessary,
informing:

i. the regulatory authorities;

and, where it is in the public interest to do so,

ii. the other awarding bodies.

113. Where a centre fails to attend compulsory training events, the awarding body
must take such steps as are necessary to safeguard the interests of candidates in
future awards.

29
 Section 6: Awarding, issuing results
and marking review

This section should be read in conjunction with the appropriate appendix.

Division of responsibilities

114. The personnel involved in awarding include: chair of examiners, chief

examiner(s), principal examiners, principal moderators and awarding body
officers. Details of their responsibilities are given in section 1.

Procedures prior to the awarding meeting

115. The chair of examiners, chief examiner(s), principal examiner(s) and principal
moderator(s) in a specification must ensure before the awarding meeting that
they are fully conversant with the overall standard of work associated with
particular grades in previous years or previous examination series. The prime
objectives are the maintenance of grade standards over time and across different
specifications within a qualification type. Attention should also be paid, where
appropriate, to the alignment of standards between GCE and VCE and between
GCSE and GCSE in vocational subjects in the same subject area.

116. Question papers/tasks (including internally assessed work), mark schemes and
scripts exemplifying grade boundaries for previous awards in each subject or
vocational area must be reviewed in the context of relevant statistics. In the case
of a new specification, pertinent material from other examinations in the subject
or other relevant subjects should be considered.

117. After the marking and moderating period, principal examiners and principal
moderators must propose preliminary ranges of marks for each component/unit
as a basis for locating key grade boundaries on the basis of judgement. Full
details of the key grade boundaries are given in Appendices 2 and 3. All other
grade boundaries are determined arithmetically.

118. Preparation must be undertaken prior to the awarding meeting to:

i. Ensure that appropriate ranges of scripts are available for the awarding
meeting;

ii. Identify, on the basis of preliminary calculation of outcomes, where

problems of consistency and comparability may arise.

30
The awarding committee

119. For each specification, there must be an awarding committee, chaired by the
chair of examiners, which:

i. checks that the required standards are brought to bear in each

component/unit and in the examination as a whole;

ii. assists the chair of examiners in arriving at recommended boundary

marks for each key grade in the examination.

120. In addition to the chair of examiners, the committee must include the chief
examiner(s), principal examiner(s) and principal moderator(s)7. In exceptional
circumstances where a senior examiner or moderator is unable to attend an
awarding meeting, the awarding body officer will ensure that an examiner or
moderator of nearest seniority for the specification under consideration attends
the meeting. Awarding body officers must advise the committee and direct its
procedures. Where necessary, the committee may include others with particular
expertise.

121. Where there is more than one specification in the same subject, or where
specifications share units or where the same unit is assessed through the medium
of English and Welsh/Irish (Gaeilge), there must be a single awarding committee
or an overlap of membership (chair of examiners and at least one other
member) across the committees responsible.

122. The role of the overlapping member(s) of the committee is, in principle, no
different from that of the other members: to bring their professional experience
and expertise to bear on the task of recommending grade boundaries. These
members are expected, in addition, to consider the consistency of the
recommendations in the light of standards applied in other specifications.

The awarding process

123. The process of awarding must be conducted by establishing the range for each
key grade boundary, and, subsequently, marks at each grade boundary for each
externally and internally assessed unit/component. A record of the preliminary
ranges of marks proposed by the principal examiners and principal moderators
must be included in the report of the awarding meeting. Where the nature of
particular specifications requires modifications to be made to the procedures set
out below, arrangements will be agreed between the regulatory authorities and
the relevant awarding body.

7 The roles of chief examiner, principal examiner and principal moderator may be combined in one person in
small-entry specifications.

31
 Setting grade boundaries

124. Awarders must consider candidates’ work, selected on the basis of the range for
each key grade boundary. These ranges must be based on the preliminary ranges
of marks proposed by principal examiners and principal moderators and must
also take account of the relevant technical and statistical information. If
necessary, marked scripts and internally-assessed material outside the
preliminary ranges must be included to ensure that work of the appropriate
standard is considered.

125. A provisional boundary must be set separately for each component/unit for each
key grade identified in the relevant qualification type appendix at the back of
this document. Other arrangements may apply to specifications or options with
small entries to avoid distortions caused by a typical mark distributions.
Depending on the assessment pattern, it may be appropriate to consider a
boundary for more than one component or module/unit before moving on to
the next boundary, with the prior agreement of the regulatory authorities.

126. Each boundary must be set using professional judgement. The judgement must
reflect the quality of candidates’ work, informed by the relevant technical and
statistical evidence.

127. The following must be used, as appropriate, to inform the determination of

marks at key grade boundaries:

i. procedures required by this code of practice and, consistent with the code,
by the awarding body concerned. (These may be set out as an agenda for
the meeting);

ii. copies of question papers/tasks and final mark schemes;

iii. reports from the principal examiner(s)/principal moderator(s) on how the

question paper functioned;

iv. archive scripts and examples of internally-assessed work (including, in

appropriate subject areas, photographic or video evidence) at the relevant
grade boundaries;

v. samples of current candidates’ work (marked scripts and/or internally-

assessed material) distributed evenly across key boundary ranges for each
component, with enough representing each mark to provide a sound basis
for judgement so far as the size of entry and nature of work permits. The
material should be selected from a sufficient range of centres where work
has been marked/moderated by examiners/moderators whose work is
known to be reliable;

vi. any published performance descriptions, grade descriptions and exemplar

material where available;

vii. any other supporting material (such as marking guides for components
where the evidence is of an ephemeral nature);

32
 viii. technical information – including mark distributions relating to the
question papers/tasks and individual questions for the current and
previous series (where available);

ix. information on candidates’ performance in previous series (where

available);

x. details of significant changes in entry patterns and choices of options;

xi. information on centres’ estimated grades for all candidates;

xii. information about the relationship between component/unit level data and
whole subject performance, where available;

xiii. relevant evidence from the regulatory authorities’ monitoring and

comparability reports.

128. Awarders must first consider candidates’ work in the range for each key
boundary, ensuring that a sufficient amount of candidates’ work is inspected.
They must consider each mark in turn, as follows.

i. First, working down from the top of the range, awarders must identify the
lowest mark for which there is consensus that the quality of work is
worthy of the higher grade of the boundary pair. This forms the upper
limiting mark;

ii. Next, working up from the bottom of the range, awarders must identify
the highest mark for which there is consensus that the quality of work is
not worthy of the higher grade. The mark above this forms the lower
limiting mark.

Awarders must then use their collective professional judgement to recommend a

single mark for the grade boundary, which will normally lie within the range
including the two limiting marks. This judgement will include consideration of
the evidence listed in paragraph 127. Awarders must consider candidates’ work
at the recommended mark to confirm that this is appropriate and to identify
scripts to be archived.

129. The procedures to be adopted for determining boundary marks for internally-
assessed components and units depend on whether the boundaries have
previously been set, consistent with arrangements agreed between awarding
bodies and the regulatory authorities. (For example, the boundary marks for
VCE and GNVQ portfolio components are pre-set and; boundary marks for
some GCSE common coursework elements are determined by inter-awarding
body agreement).

130. When the boundary marks for an internally-assessed component/unit have been
pre-set, the grade distribution for the component/unit – together with data on
previous distributions and any changes in the entry pattern – must be reported
to the awarders.

131. Boundary marks for other internally-assessed components/units must be

determined according to the procedures set out in paragraphs 124–128 above.

33
 132. For established specifications in which internal-assessment boundary marks have
been stable for two or more examination series and the nature of the associated
tasks and marking criteria have not changed, key internal-assessment boundary
marks may be carried forward from the previous series. Boundary marks should
be carried forward only if this is recommended by the principal moderator after
completion of the moderation process, and by the designated awarding body
officer in the light of the technical and statistical evidence available.

133. Where there are a number of different routes to a subject grade, including
replacement papers where there has been a security breach, the chair of
examiners must ensure that the standards of the awards for grades derived from
each route are comparable. Where a component/unit is shared between different
specifications or options, the same grade boundaries must be used.

134. For all qualifications, awarding committees must consider available aggregate
outcomes as part of the awarding process, in the light of evidence about the
nature of the candidature. Additional information on aggregation is provided in
the relevant qualification type appendix.

135. The chair of examiners’ recommendations must be reviewed by the accountable

officer to ensure that grades awarded represent continuity and parity of
standards across years, over time and across specifications. In this review, the
following evidence must be considered:

i. reports from the awarding meeting, including the chair of examiners’

recommendations;

ii. evidence of awarders’ professional judgements on the quality of

candidates’ work within the range considered at the awarding meeting;

iii. the most complete technical and statistical evidence available, including
that outlined in paragraph 127 and any generated subsequent to the
awarding meeting (for example, information from cognate subjects).

136. Should the chair of examiners’ recommendations be deemed to need

reconsideration by the accountable officer, the chair of examiners must be
engaged in this process and consulted before any change is finalised.

137. Where a final boundary mark is proposed that lies outside the range over which
candidates’ work was considered at the awarding meeting, the awarding
committee must be reconvened and the regulatory authorities must be informed.

138. Responsibility for setting the final grade boundary rests with the accountable
officer. If the accountable officer selects a final grade boundary that is not
supported by the chair of examiners, a full report must be made to the awarding
body’s governing council. The regulatory authorities must be informed and
provided with an evidence-based justification for the proposed decision at least
two working days before it is finalised.

34
139. If they deem it necessary – and within one working day of receipt of such
information – the regulatory authorities will inform the accountable officer of
any dissatisfaction with the justification and proposed decision, giving their
reasons and requiring reconsideration with a further report on the final decision
within a further working day.

140. The regulatory authorities reserve the right to advise the awarding body’s
governing council of any remaining concerns and, further, to make them known
publicly.

141. The awarding committee must be advised of the reasons for any changes to the
recommended grade boundaries as soon as possible, and in any event before the
publication of results.

Marking review

142. The procedures identified in the previous sections are intended to minimise error
in the marks awarded. Nevertheless there will, from time to time, be cases
where some doubt remains about whether the marks given to a candidate or
group of candidates are acceptable. The purpose of the marking review is to
ensure that such cases are considered and remedial action taken where
necessary.

143. The marking review will consist of a re-marking of scripts marked by examiners
about whom there is lingering doubt.8 Each externally assessed component will
be treated in this manner when it is awarded. Other candidates may be included
in the marking review if the awarding body and/or chief/principal examiner
considers there to be good reason such as marked discrepancies between
estimated grades and provisional grades.

144. After the re-marking by senior examiners of those candidates’ work identified as
indicated in paragraphs 142 and 143 the revised mark will replace the original
mark in every case and the result will be automatically re-calculated.

145. Where an awarding body offers examinations through the medium of Welsh or
Irish, the procedures for marking review must allow for the review, as
appropriate, of the work of Welsh or Irish medium candidates.

Issue of results

146. The awarding body must issue results for each series of examinations on the
agreed date.

8 The additional requirements for GCSE, which augment this paragraph, are set out in Appendix 1,
paragraphs 5 and 6.

35
 147. The awarding body must ensure that all available work from candidates is
marked and/or moderated before results are issued. In the event of any
difficulty, the awarding body must notify the regulatory authorities in good time
of the nature of the difficulty and the action taken to resolve it. The regulatory
authorities may, at their discretion, request progress reports and confirmation of
completion from the awarding body’s accountable officer.

36
Section 7: Arrangements for
candidates with particular assessment
requirements

148. The awarding body must ensure that there are no unnecessary barriers to
assessment which prevent candidates from effectively demonstrating their
attainment. Arrangements for candidates with particular assessment
requirements (special arrangements) must also ensure that such candidates are
not given, or do not appear to be given, an unfair advantage. Special
arrangements are generally not appropriate where the candidate’s particular
difficulty directly affects performance in the assessment objectives that are the
focus of assessment.

149. The awarding body must make special arrangements according to the needs of
the individual candidate, reflecting, where practicable, the candidate’s usual
method of working, the assessment requirements as set out in the specification
and any guidelines set down by the regulatory authorities.

150. The awarding body must ensure in making special arrangements that the
validity, reliability and integrity of the assessment are preserved and that
certificates accurately reflect candidate attainment.

Special arrangements and special consideration

151. Awarding bodies will ensure that all reasonable steps have been taken to enable
candidates with permanent or temporary disabilities to fulfil the examination
requirements. Details of special arrangements will be published by each
awarding body.

152. Awarding bodies will also provide a mechanism whereby centres may request
that special consideration be given to candidates who, as a result of illness or
other adverse circumstances, miss part of an examination or are disadvantaged
in an examination unit or component.

Candidates with disabilities (permanent or long-term) and

exceptional cases (temporary)

153. Similar arrangements must apply to specified disabilities and to specified

subjects. Such arrangements may include the provision of large print or Braille
papers, reading to candidates, using a typewriter, dictating to an amanuensis or
tape recorder, the modification of questions (excluding any change to technical
terms), and additional time (except in those instances where performing a task
in limited time is an assessment objective). Comparable arrangements should
also exist for those candidates who are deemed to be exceptional cases.

37
 Monitoring and reporting

154. Each awarding body will monitor the way in which the arrangements for
candidates with particular assessment requirements work. Data regarding the
delegation of additional time will be collected. The following types of data may
also be collected:

i. data that centres provide on notification forms;

ii. other data provided by centres, eg requests for special consideration,

requests for approval of arrangements not specified in the awarding
bodies published arrangements and requests concerning temporary
impairment.

155. From these data, awarding bodies will report to the regulatory authorities on
the numbers of candidates notified as having particular requirements. The
reports will be subdivided into agreed categories.

38
Section 8: Malpractice

156. The awarding body must have procedures in place for dealing with malpractice
on the part of candidates, centre staff or others involved in providing a
qualification, and must ensure that all centres, its own staff and the regulatory
authorities receive copies of those procedures.

157. The awarding body must require centres to report to it any malpractice
suspected after candidates have been registered, making clear any possible
implications of a failure to cooperate for the issue of certificates and the future
acceptance of entries.

158. The awarding body must report significant cases of malpractice to the
regulatory authorities automatically, and report all cases on request. The
awarding body must initiate investigations, and cooperate fully with any follow-
up investigations required by the regulatory authorities, sharing information
with other awarding bodies or with other agencies as necessary.

159. Each awarding body will investigate any instances of alleged or suspected
malpractice in either the internally or externally assessed components and must
take such action, with respect to the candidates and centres concerned, as is
necessary to maintain the integrity of the examination.

160. Each awarding body has the right to impose special conditions on the future
involvement of a teacher or internal assessor in the conduct, supervision or
administration of its examinations and to refuse to accept examination entries
from a centre in cases where malpractice is established. Other awarding bodies
will be informed when such special conditions are imposed.

161. The awarding body will investigate each case of alleged malpractice to establish
the full facts and circumstances relating to the case and, where appropriate, the
candidate’s conduct in other assessments. The head of a centre will normally be
asked to submit a written report on the case to the awarding body and to
provide appropriate supporting documentation.

162. Each case of malpractice will be considered and judged on an individual basis in
the light of all information available. The outcome should be commensurate
with the gravity of the malpractice as determined by the awarding body.

39
 Section 9: Enquiries about results and
appeals

163. Each awarding body must publish its arrangements for the submission of
enquiries about results and for appeals against the awarding body’s decisions.
These arrangements must indicate that all summer enquiries must be received by
20 September and advise of a comparable schedule for any additional series that
has been agreed with the regulatory authorities.

164. Each awarding body must publish common arrangements for dealing with
enquiries about results and for appeals against their decisions.

165. The services available for enquiries about results must include a clerical check, a
post-results review of marking (may also be referred to as a re-mark) and
re-moderation of internally assessed components. The post-results review of
marking service may be available on a priority basis for individual candidates.

166. The enquiry about results procedure which is carried out on internally assessed
work must be identical to the original moderation procedures.

167. Each awarding body must publish common administrative arrangements and
deadlines. The awarding body must provide notification of the outcome of any
priority enquiry concerning a subject grade within 20 days of receipt.
Notification of the outcome of any other paid enquiry concerning a subject
grade must normally be provided within 40 calendar days of receipt. All reports
relating to paid enquiries must also normally be provided within 40 days.

168. The awarding body must wherever possible ensure that a post-results review of
marking is undertaken by someone other than the original examiner.

169. Each awarding body will make a charge for the result enquiry services. The
awarding bodies will adopt common principles relating to the refund of fees in
instances where candidates’ results are raised or lowered following an enquiry
or subsequent appeal. In the case of a group enquiry, the awarding body will
refund either the total fee or a proportion depending on the outcomes of the
enquiry. Information about these principles and their application will be
provided to all centres.

170. In cases where the outcome of an enquiry brings into question the accuracy of
results for other candidates in the same examination, the awarding body must
take whatever steps they consider appropriate to protect the interests of all
candidates who may have been similarly affected.

40
171. In cases where a clerical check or post-results review of marking reveals
inaccurate marking, subject grades or unit marks may be confirmed, raised or
lowered. The awarding body must ensure that centres confirm to them that
candidates whose work is to be clerically checked or the subject of a post-results
review of marking have consented to their inclusion in the process. In the case
of private candidates the awarding body must ensure that the candidate is
advised that their mark may be confirmed, raised or lowered and establish that
the candidate consents to this. The awarding body must inform centres that
before giving their consent, candidates should be advised that their grades may
be confirmed, raised or lowered.

172. In cases where a re-moderation reveals inaccurate moderation, subject grades

already awarded can only be confirmed or raised. Marks for modules, units or
components may be confirmed, raised or lowered, and these marks will be
carried forward to any subsequent, subject grade. It is not necessary to obtain
candidates’ permission before a centre requests re-moderation.

173. The awarding body must not consider enquiries about results direct from
internal candidates or their carers. Enquiries about results must be accepted
direct from private candidates.

174. The awarding body must require centres offering its examinations to ensure that
they have in place:

i. a procedure for candidates or their carers to request access to the enquiry

and appeals system;

ii. a procedure for lodging enquiries about results in cases where the centre
supports an enquiry lodged by a candidate or carer;

iii. a formal, codified procedure for handling disputes when a candidate or

carer disagrees with a decision by the centre not to support an enquiry.

Centres must be required to ensure that the procedures are published, and are
made widely available and accessible to all candidates and their carers.

175. In deciding whether to support an enquiry or appeal, centres should take

account of all relevant factors and afford candidates or their carers a reasonable
opportunity to express their views.

176. Following receipt of the outcome of an enquiry, appellants must be allowed up

to two calendar weeks in which to lodge an appeal. Appeals should focus on
whether an awarding body:

i. used procedures which were consistent with this code of practice;

ii. applied its procedures properly and fairly in arriving at judgements.

41
 177. Appeals must be heard by awarding body appeals panels including at least one
independent member (who is not, and has not been, a member of the awarding
body’s board or committees, or an employee or examiner at that awarding body,
at any time during the previous seven years). Each awarding body should
advertise for and appoint independent members of appeals panels who match a
specification agreed between the regulatory authorities and the Joint Council for
General Qualifications. Each awarding body should use arrangements, endorsed
by the regulatory authorities, to appoint (for terms up to four years) and train
independent panellists to hear appeals. All appointments of independent
panellists should be notified to the Joint Council and the regulatory authorities.

178. Where appeals are lodged, awarding bodies must carry out a preliminary
appeals process and then – unless the outcome leads the appellant to withdraw
the application – conduct a formal appeals hearing and send a decision letter
within 10 weeks of the lodging of the original request. In any event, awarding
bodies will communicate the outcomes of all appeals on summer examinations
by 14 February in the following calendar year and on any additional
examinations to a comparable schedule agreed with the regulatory authorities.

179. When the relevant awarding body’s enquiries and appeals procedures have been
exhausted an appeal may be made to the Examinations Appeals Board, which
has been set up to ensure that schools and colleges, and through them
candidates and parents, are satisfied that the grades awarded are as fair and
accurate as they can be.

42
Section 10: Access to marked
examination scripts

180. A ‘script’ refers to any candidate’s work deriving from an externally assessed
component which is primarily written, subject to a list of excluded components
agreed by the regulatory authorities. These arrangements do not apply to
internally assessed components.

Rights to access

181. Access to externally assessed components must be granted when a request is

made to the awarding body either by a centre or by a private candidate. Access
will be available by individual component.

182. The awarding body must make clear to centres that all requests to have access
to their marked examination scripts from candidates who sat examinations at
that centre should be processed and transmitted to the relevant awarding body
within the timescales prescribed below. Private candidates must make requests
for access to their scripts directly to the awarding body.

183. Awarding bodies must inform centres that it is the centres’ responsibility to
make candidates aware of the arrangements for access to scripts in advance of
the candidates sitting any examination to which the arrangements apply.

Conditions of access

184. Awarding bodies will release scripts to centres on the following conditions:

i. scripts must be seen only by teachers who are members of staff at that
centre or returned directly to the candidates concerned;

ii. prior written permission must be obtained from any candidates concerned
where teachers intend to use their scripts as examples for other students.
This permission must only be sought after the candidates have received
their results. Candidates who grant their permission have the right to
anonymise their scripts before use;

iii. scripts used by teachers at the centre must be kept securely within the
centre. Once no longer required, scripts must be disposed of
confidentially. Confidential disposal must not take place earlier than three
months after the publication of results or appeal involving those scripts;

iv. candidates have the right to instruct their centres not to request their
scripts for any purposes;

43
 v. the originals of scripts that are or have been the subject of any
malpractice investigation can be withheld by the awarding body
concerned. In these circumstances a centre or private candidate may
request photocopies of the scripts;

vi. the awarding body will not carry out any further investigation if a script
has been altered in any way.

Supporting enquiries

185. In order to allow consideration of scripts for the sole purpose of deciding
whether or not to request a GCE or VCE enquiry about results, centres and
private candidates may request advance photocopies of the relevant scripts. A
request for such photocopies must be sent to arrive at the awarding body by no
later than eight days after the publication of results. The photocopies must be
sent by the awarding body so that the centre or private candidate receives them
no later than 10 days before the closing date for enquiries about results.
Advance photocopies will not be available for candidates’ scripts that are to be
reconsidered as part of a priority enquiry post-results review of marking.

186. The awarding body must make available on request photocopies of candidates’
marked scripts along with the outcome of enquiries about results for both
priority and regular enquiries about results.

Supporting teaching and learning

187. Requests for access for other purposes must be received by the awarding body
no later than two weeks after the closing date for enquiries about results. In
response to these requests, original scripts must be sent by the awarding body so
that the centre or private candidate receives them no earlier than the closing
date for such enquiries and no later than eight weeks after the closing date for
enquiries about results.

188. When a centre or private candidate requests either a photocopied or an original

marked script, awarding bodies must also make available copies of the mark
scheme for the relevant component.

Further responsibilities of awarding bodies

189. Awarding bodies must continue to mark and annotate all scripts in accordance
with good practice recognised by the regulatory authorities.

190. Awarding bodies must continue their arrangements to collect appropriate

archive materials for all examinations.

44
 Appendix 1
Appendix 1: GCSE-specific issues1

Preparing Question Papers and mark schemes

1. Question paper rubrics must include a reminder that marking will take into
account written communication (for specifications accredited for first teaching
from September 2001).

2. Mark schemes must include, where appropriate, instructions for marking quality
of written communication (for specifications accredited for first teaching from
September 2001).

3. In GCSE Welsh Literature only:

a) Question paper rubrics must include a reminder that marking will take
into account the spelling, punctuation and grammar of answers.

b) Mark schemes must include marking instructions for spelling, punctuation

and grammar

4. For tiered examinations, question papers must discriminate effectively within

each tier. Non-tiered and higher tier papers must provide a suitably demanding
challenge for grade A*.

Marking Review

5. The marking review will consist of the re-marking by senior examiners of

components marked by examiners about whom there is lingering doubt where
candidates’ aggregate marks are one per cent or less below the C/D grade
boundary.

6. Other candidates may be included in the marking review if the awarding body
considers there are good reasons, such as marked discrepancies between
estimated grades and provisional grades.

1 Refer to the subsequent appendices for specific information on linear and unitised qualifications.

45
 Appendix 2: GCSE-specific issues for
non-unitised qualifications
Appendix 2

Setting key component grade boundaries1

GCSE and GCSE (short course) – non-tiered components

1. The three key grade boundaries must be dealt with in the following sequence
throughout the awarding process:

■ C/D;

■ A/B;

■ F/G.

GCSE and GCSE (short course) – tiered components

All tiered subjects, except mathematics
2. The key grade boundaries must be dealt with in the following sequence
throughout the awarding process:

■ C/D foundation tier;

■ C/D higher tier;

■ A/B higher tier;

■ F/G foundation tier;

■ D/E higher tier.

3. Scripts at the arithmetically determined D/E boundary on the foundation tier are
used to inform the judgmental D/E decision on the higher tier.

Mathematics (specifications not using uniform marks)

4. The key grade boundaries must be dealt with in the following sequence
throughout the awarding process:

■ C/D intermediate tier;

■ C/U higher tier;

■ A/B higher tier;

■ F/G foundation tier;

■ B/C intermediate tier;

■ D/E foundation tier;

1 Refer to Appendix 3 Aggregation and grading for unitised qualifications for information on GCSEs which
use uniform marks (including mathematics and modern foreign languages).

46
 ■ D/E intermediate tier.

5. Scripts at the arithmetically determined B/C boundary on the higher tier are

Appendix 2
used to inform the judgmental B/C decision on the intermediate tier.

Setting grade boundaries for the subject as a whole

6. After key grade boundaries for each component have been set, provisional
boundaries for the subject as a whole must be established for the key
judgmental grades as detailed below. For each of the judgmental boundaries,
two indicators are calculated through the process described below.

Indicator 1
i. The boundary mark for each component is scaled as necessary to reflect
the mark allocation for that component as detailed in the specification;

ii. The resulting scaled component boundary marks are added and the result
is rounded to the nearest whole number (0.5 rounded up);

Indicator 2
iii. The percentage of candidates at and above the boundary mark on each
component is determined;

iv. A weighted mean of these percentages is calculated, using the weightings

of components as detailed in the specification;

v. The mark is identified on the distribution of total examination marks at

which the cumulative percentage of candidates most closely corresponds
to the weighted mean;

Conclusion
vi. Whenever the two indicators do not coincide, the grade boundary should
normally be set at the lower of the two indicator marks, unless, in the
awarders’ judgement, there is good reason, as a result of a review of the
statistical and technical evidence, to choose a higher mark within the
range spanned by the indicators.

7. The other grade boundaries must be determined arithmetically as set out below.

Key subject grade boundaries

GCSE and GCSE (short course) – non-tiered and tiered examinations (except
mathematics)
8. The following three key subject boundaries are set using indicators 1 and 2:

■ C/D;

■ A/B;

■ F/G.

47
 9. The B/C boundary is obtained by dividing the mark interval between the A/B
and C/D boundaries by two. Where there is a remainder of one, the extra mark
Appendix 2

is added to the grade B interval.

10. The D/E and E/F boundaries are obtained by dividing the mark interval between
the C/D and F/G boundaries by three. Where there is a remainder of one, the
extra mark is added to the grade D interval. Where there is remainder of two,
one extra mark is added to each of the grade D and grade E intervals.

11. In a tiered examination, the D/E boundary on the higher tier is set using
indicators 1 and 2.

12. All other boundaries are determined arithmetically:

i. In a tiered examination the E/U boundary on the higher tier is

provisionally set by subtracting half the mark interval between the C/D
and D/E boundaries (rounding up half marks) from the D/E boundary.
When a review of technical and statistical evidence leads the awarders to
judge that the E/U boundary should be set at a different mark, the chair
of examiner’s grade boundary recommendation will provide evidence that
justifies this proposal;

ii. The G/U boundary is the same number of marks below the F/G boundary
as the E/F boundary is above the F/G boundary.

13. The A*/A boundary is provisionally set the same number of marks above the
A/B boundary as the A/B boundary is above the B/C boundary. When a review
of technical and statistical evidence leads the awarders to judge that the A*/A
boundary should be set at a different mark, the chair of examiner’s grade
boundary recommendation will provide evidence that justifies this proposal.

GCSE Mathematics
14. The key grade boundaries (see paragraph 4) are set using indicators 1 and 2.

15. All other boundaries are determined arithmetically:

i. The B/C boundary on the higher tier is obtained by dividing the mark
interval between the A/B and C/U boundaries by two. Where there is a
remainder of one, the extra mark is added to the grade B interval;

ii. The E/F boundary on the foundation tier is obtained by dividing the mark
interval between the D/E and F/G boundaries by two. Where there is a
remainder of one, the extra mark is added to the grade E interval;

iii. The E/U boundary on the intermediate tier is set the same number of
marks below the D/E boundary as the C/D boundary is above the D/E
boundary;

iv. The G/U boundary on the foundation tier is set the same number of
marks below the F/G boundary as the E/F boundary is above the F/G
boundary.

48
16. The A*/A boundary is provisionally set the same number of marks above the
A/B boundary as the A/B boundary is above the B/C boundary. When a review

Appendix 2
of technical and statistical evidence leads awarders to judge that the A*/A
boundary should be set at a different mark, the chair of examiner’s grade
boundary recommendation will provide evidence that justifies this proposal.

49
 Appendix 3: Aggregation and grading
for unitised qualifications

1. Aggregate marks will be calculated on the basis of a uniform mark scale (UMS).
Appendix 3

Uniform marks for each unit must be calculated in such a way as to maintain
the candidates’ relative position between the raw grade boundaries. Each unit
must be reported in uniform marks. Uniform marks for individual assessment
units are added to generate a final grade for the qualification as a whole.

2. Where a candidate has taken more than the required number of units, the
awarding body will generate the best grade for the candidate. Results for units
which are not included in the aggregation remain available for future use if
required.

3. The re-sit rules for each qualification are as follows:

i GCSE
In modular or staged schemes, any individual assessment unit may be
re-sat once before certification, with the better mark counting towards
the final grade.

ii GCE, VCE and GNVQ

Individual assessment units may be re-sat before certification, with the
best mark counting towards the final grade.

GCE, VCE and free-standing mathematics qualifications (FSMQ)

4. Grade boundary marks for each externally assessed unit or component will be
determined judgementally for the key boundaries in the following sequence:

■ E/U;

■ A/B.

5. When a unit consists of two or more components, such as a written paper and a
coursework assessment, grade E/U and A/B boundary marks will be determined
for each component separately. The boundary mark for each component is
scaled as necessary to reflect the weighting for that component as detailed in the
specification, and these scaled component boundary marks are added to give
unit boundary marks. These unit boundary marks will then be converted to the
UMS scale.

6. Where candidates repeat a unit which consists partly of coursework, their

moderated coursework marks may be carried forward during the lifetime of the
specification.

50
7. For each unit, the grade B/C, C/D and D/E boundary marks are determined
arithmetically. The grade B/C, C/D and D/E boundary marks are calculated by
dividing the mark interval between the A/B and E/U boundaries by four:

i. Where there is a remainder of one, the extra mark is added to the A–B
mark range;

ii. Where there is a remainder of two, one extra mark is added to each of the
A–B and B–C mark ranges;

Appendix 3
iii. Where there is a remainder of three, one extra mark is added to each of
the A–B, B–C and C–D mark ranges.

8. Schemes of assessment are based on a uniform mark total of 300 for the
Advanced Subsidiary GCE and VCE subject awards, 600 for the Advanced GCE
and VCE subject awards and 1200 for the Advanced VCE (Double Award). In a
specification with six equally-weighted units there are thus 100 uniform marks
available for each unit. There are 100 uniform marks available for each
Advanced FSMQ (in Foundation and Intermediate FSMQ, uniform marks are
not used).

9. For each unit, the raw grade boundary mark will be converted to the equivalent
UMS boundary mark, based on the percentages given in the table below. A
mark of zero on the raw mark scale must always be converted to zero on the
UMS scale. The maximum raw mark for the unit is always converted to the
maximum UMS mark for the unit.

GCE/VCE/FSMQ unit

A B C D E

Percentage of available uniform mark 80 70 60 50 40

10. The lowest uniform mark for each grade in the qualification is fixed in
accordance with the tables below:

Grade Maximum A B C D E
uniform mark

UMS grade boundary – 600 480 420 360 300 240

Advanced GCE/VCE

UMS grade boundary – 300 240 210 180 150 120

Advanced subsidiary
GCE/VCE

51
 Advanced Vocational Certificate of Education (Double Award)

Maximum uniform mark AA AB BB BC CC CD DD DE EE

1200 960 900 840 780 720 660 600 540 480

GNVQ
Appendix 3

11. Grade boundary marks for each externally assessed GNVQ unit and will be
determined judgementally for the key boundaries in the following sequence.

■ Pass;

■ Distinction.

12. The Merit grade boundary mark is determined arithmetically by dividing the
mark interval between the Pass and Distinction boundaries by two. Where there
is a remainder of one, the extra mark is added to the Merit mark range.

13. Schemes of assessment are based on a uniform mark total of 600 for GNVQ
subject awards.

14. For each GNVQ unit, the raw grade boundary mark at each of the grades
Distinction, Merit and Pass will be converted to the equivalent UMS boundary
mark, as shown in the table below. A mark of zero on the raw mark scale must
always be converted to zero on the UMS scale. The maximum raw mark for the
unit is always converted to the maximum UMS mark for the unit.

GNVQ Unit

Maximum uniform mark Distinction Merit Pass

100 80 60 40

15. The lowest uniform mark for each grade in the qualification is fixed in
accordance with the table below:

Foundation and Intermediate GNVQ Subject Award

Maximum uniform mark Distinction Merit Pass

600 480 360 240

52
GCSE and GCSE in Vocational Subjects1

Non-tiered components or units/modules

16. The three key grade boundaries must be dealt with in the following sequence for
each component or module/unit:

■ C/D;

Appendix 3
■ A/B;

■ F/G.

17. All other boundaries are determined arithmetically:

i. The B/C boundary is obtained by dividing the mark interval between the
A/B and C/D boundaries by two. Where there is a remainder of one, the
extra mark is added to the grade B interval;

ii. The D/E and E/F boundaries are obtained by dividing the mark interval
between the C/D and F/G boundaries by three. Where there is a remainder
of one, the extra mark is added to the grade D interval. Where there is
remainder of two, one extra mark is added to each of the grade D and
grade E intervals;

iii. The G/U boundary is the same number of marks below the F/G boundary
as the E/F boundary is above the F/G boundary.

18. The A*/A boundary is provisionally set the same number of marks above the
A/B boundary as the A/B boundary is above the B/C boundary. When a review
of technical and statistical evidence leads the awarders to judge that the A*/A
boundary should be set at a different mark, the chair of examiner’s grade
boundary recommendation will provide evidence that justifies this proposal. For
all schemes using uniform marks, this review should be carried out at
component or module/unit level rather than at qualification level.

Tiered components or units/modules, except mathematics

19. The key grade boundaries must be dealt with in the following sequence for each
component or module/unit:

■ C/D foundation tier;

■ C/D higher tier;

■ A/B higher tier;

■ F/G foundation tier;

■ D/E higher tier.

In modern foreign languages all of the boundaries for one skill are normally
considered before moving on to the next skill.

1 For linear GCSEs refer to the appropriate appendix.

53
 20. Scripts at the arithmetically determined D/E boundary on the foundation tier are
used to inform the judgmental D/E decision on the higher tier.

21. All other boundaries are determined arithmetically:

i. The B/C boundary is obtained by dividing the mark interval between the
A/B and C/D boundaries by two. Where there is a remainder of one, the
extra mark is added to the grade B interval;
Appendix 3

ii. The D/E and E/F boundaries are obtained by dividing the mark interval
between the C/D and F/G boundaries by three. Where there is a remainder
of one, the extra mark is added to the grade D interval. Where there is
remainder of two, one extra mark is added to each of the grade D and
grade E intervals;

iii. The E/U boundary on the higher tier is provisionally set by subtracting
half the mark interval between the C/D and D/E boundaries (rounding up
half marks) from the D/E boundary. When a review of technical and
statistical evidence leads the awarders to judge that the E/U boundary
should be set at a different mark, the chair of examiner’s grade boundary
recommendation will provide evidence that justifies this proposal;

iv. The G/U boundary is the same number of marks below the F/G boundary
as the E/F boundary is above the F/G boundary.

22. The A*/A boundary is provisionally set the same number of marks above the
A/B boundary as the A/B boundary is above the B/C boundary. When a review
of technical and statistical evidence leads the awarders to judge that the A*/A
boundary should be set at a different mark, the chair of examiner’s grade
boundary recommendation will provide evidence that justifies this proposal. For
all schemes using uniform marks, this review should be carried out at
component or module/unit level rather than at qualification level.

Mathematics
23. The key grade boundaries must be dealt with in the following sequence for each
component or module/unit:

■ C/D intermediate tier;

■ C/U higher tier;

■ A/B higher tier;

■ F/G foundation tier;

■ B/C intermediate tier;

■ D/E foundation tier;

■ D/E intermediate tier.

54
24. All other boundaries are determined arithmetically.

i. The B/C boundary on the higher tier is obtained by dividing the mark
interval between the A/B and C/U boundaries by two. Where there is a
remainder of one, the extra mark is added to the grade B interval;

ii. The E/F boundary on the foundation tier is obtained by dividing the mark
interval between the D/E and F/G boundaries by two. Where there is a
remainder of one, the extra mark is added to the grade E interval;

Appendix 3
iii. The E/U boundary on the intermediate tier is set the same number of
marks below the D/E boundary as the C/D boundary is above the D/E
boundary;

iv. The G/U boundary on the foundation tier is set the same number of
marks below the F/G boundary as the E/F boundary is above the F/G
boundary.

25. The A*/A boundary is provisionally set the same number of marks above the
A/B boundary as the A/B boundary is above the B/C boundary. When a review
of technical and statistical evidence leads awarders to judge that the A*/A
boundary should be set at a different mark, the chair of examiner’s grade
boundary recommendation will provide evidence that justifies this proposal.
This review should be carried out at component or module/unit level rather than
at qualification level.

All GCSE exams which use uniform marks

26. When a unit/module consists of two or more components, such as a written
paper and a coursework assessment, the key grade boundary marks (as defined
in paragraphs 16, 19 or 23) will be determined for each component separately.
The component boundary marks are aggregated to give unit/module boundary
marks.

Conversion to uniform marks

27. In all specifications using uniform marks with the exception of modern foreign
languages, the raw grade boundary marks for each component/unit will be
converted to the equivalent UMS boundary marks based on the percentages
given in the table below2. Awarding bodies will select an appropriate maximum
uniform mark for the subject award in the light of the assessment scheme. For
GCSE in vocational subjects this will always be 100 uniform marks for an
individual unit.

A* A B C D E F G

Percentage of available 90 80 70 60 50 40 30 20
uniform marks

2 Where other uniform mark scales are in use, these must be agreed with the regulatory authorities in advance
and etailed in the relevant specification.

55
 28. The same procedures will be adopted for the conversion of raw marks to
uniform marks for units in all GCSE specifications, including GCSEs in
vocational subjects, which use UMS. For all units, a raw mark of zero will
convert to a uniform mark of zero. For untiered and higher tier units, the
maximum raw mark will be converted to the maximum uniform mark. For
foundation or intermediate tier units, the maximum raw mark will convert to
the maximum uniform mark allowed for the grade range, ie one below the
lowest uniform mark above the targeted grades.
Appendix 3

29. The subject grade awarded for those schemes which use uniform marks will be
determined by the total uniform mark. However, the grade range will be
restricted by the tier of entry of the qualification or of the terminal paper(s)3.

30. Where a tier of entry is required for the GCSE subject award, uniform marks
for coursework are not truncated in accordance with the tiering arrangements.

31. In modern foreign language specifications which use uniform marks, the raw
grade boundary marks for each skill will be converted to the equivalent UMS
boundary marks, as shown in the table on the next page.4

Maximum uniform mark A* A B C D E F G

90 80 70 60 50 40 30 20 10

32. The lowest uniform mark for each grade in the Modern Foreign Language
qualification is fixed in accordance with the table below:

Maximum uniform mark A* A B C D E F G

360 320 280 240 200 160 120 80 40

Conversion to uniform marks for GCSEs in Vocational Subjects

33. For each unit, the raw grade boundary mark will be converted to the equivalent
UMS boundary mark, as shown in the table below:

Maximum uniform mark A* A B C D E F G

100 90 80 70 60 50 40 30 20

34. The lowest uniform mark for each grade in the qualification is fixed in
accordance with the table below:

Maximum uniform mark A*A* AA BB CC DD EE FF GG

300 270 240 210 180 150 120 90 60

3 This restriction does not apply to MFL, GCSEs in vocational subjects and some modular and staged schemes
where the terminal element is not defined.
4 Where the MFL is modular, the maximum uniform mark may vary depending on the weighting of the
component/module/unit, but will always be in the same proportion as laid down in the table.

56
Appendix 4: Advanced Extension
Award (AEA)-specific issues

Preparation of external assessments including provisional mark

schemes

1. In addition to the normal examining and awarding body personnel, the lead
awarding body must take all reasonable steps to ensure that the question paper
evaluation committee includes an appropriate representative from those
awarding bodies which offer AS/A level examinations in that subject. Where, for

Appendix 4
practical reasons this is not possible, the lead awarding body must ensure that
the other awarding bodies are given the opportunity to comment on the draft
question papers and mark schemes. Where the question paper/task is to be
offered through the medium of Welsh or Irish (Gaeilge), at least one member of
the committee should normally have the necessary expertise to advise on
Welsh/Irish (Gaeilge) medium issues.

2. The lead awarding body in each Modern Foreign Language must take steps to
ensure comparability in the question papers and mark schemes set by the
awarding bodies offering AEAs in French, German, Spanish and Irish.

Awarding

3. In addition to the normal examining and awarding personnel, the lead awarding
body must take all reasonable steps to ensure the attendance at the awarding
meeting of an appropriate representative from those awarding bodies which
offer AS/A level examinations in that subject. Where for practical reasons it is
not possible for them to attend, the lead awarding body must ensure that the
other awarding bodies receive written information about the process and
decisions, following which they are given the opportunity to comment. Where
the question paper/task is to be offered through the medium of Welsh or Irish
(Gaeilge), at least one member of the awarding committee should have the
necessary expertise to advise on Welsh/Irish (Gaeilge) medium issues.

4. Grade boundary marks for AEA must be determined judgementally in order of

the grade boundaries ungraded/merit, merit/distinction.

57
 Glossary of selected terms

This glossary contains terms used in this code of practice relating to GCSE, GCSE in
vocational subjects, GCE, VCE and GNVQ examinations. It is designed to promote a
common understanding of generic terms which are applicable to all the qualifications
covered by the code. The most broadly-accepted usage has generally been taken as
standard. The glossary does not attempt to be comprehensive.

Responsibilities of awarding bodies and their relationship with

centres

Awarding body An organisation recognised by the regulatory

authorities for the purpose of awarding accredited
qualifications.

Centre An organisation (such as a school or college)

accountable to an awarding body for the assessment
Glossary

arrangements leading to an award.

Monitoring reports Reports which represent the outcomes of monitoring

activity by the regulatory authorities relating to
awarding bodies’ quality assurance arrangements or to
standards of achievement in specific subjects or sectors.

Regulatory authority An organisation designated by government to establish

national standards for qualifications and to secure
compliance with them.

Scrutineer The scrutineer is responsible for checking the final

drafts of all question papers and tasks.

Assessment and awarding

Aggregation The process of combining (by summation or other

agreed procedure) the marks or other units of credit
awarded through an assessment scheme.

Assessment criteria Statements which describe performances and place

them in context with sufficient precision to allow valid
and reliable assessment.

Assessment objective One of a set of statements in a specification describing

the focus of assessment.

Authentication Confirmation that work has been produced solely by

the candidate on whose behalf it is submitted.

58
Awarding The process through which candidates’ grades are
determined on the basis of available evidence.

Comparability The extent to which the same awards reached through

different routes represent the same or equivalent levels
of attainment.

Component A discrete assessable element within a specification but

which is itself not separately certificated.

External assessment A form of assessment in which question papers and

tasks are set by the awarding body, taken under
specified conditions (including details of supervision
and duration) and assessed by the awarding body. This
includes awarding body set assignments.

Internal assessment A form of assessment that does not meet the above
definition of external assessment.

Internal standardisation A process carried out by centres in relation to

internally-assessed work to ensure, for a particular
specification, that all candidates are judged against the

Glossary
same standards, across different assessors and teaching
groups.

Marking Review The re-marking of candidate work, prior to the issue of

results. This includes work originally marked by
examiners about whom there is lingering doubt about
the consistency and standard of their marking.

Mark scheme A scheme detailing how credit is to be awarded in

relation to a particular assessment unit or component.
A mark scheme normally characterises acceptable
answers to questions/tasks or parts of questions/tasks
and identifies the amount of credit each attracts.

Moderation The process through which internal assessment is

monitored by the awarding body to ensure that it is
reliable, fair and consistent with required standards.

Post-results review A process in which a second examiner reviews the

of marking marking of the first examiner to make sure that the
authorised mark scheme has been applied reliably. The
second examiner needs to see the original marks and
any annotations made by the first examiner to gain a
full and clear understanding of whether the mark
scheme has been applied as intended.

Question paper / task A form of external or internal assessment including

tests, assignments and projects.

59
 Rubric A set of instructions and other items of guidance
provided for candidates on an assessment.

Script A candidate’s written response to the external or

internal assessment.

Specification The complete description – including mandatory and

optional aspects – of the content, assessment
arrangements and performance requirements for a
qualification.

Standardisation A process, relating to both external and internal

assessment, by which the awarding body ensures that
the mark scheme or assessment criteria for a unit or
component are applied consistently by examiners or
moderators. For example, the process may include a
meeting of examiners or moderators to consider the
mark scheme or assessment criteria in detail.

Unit The smallest part of a qualification that can be

separately certificated. A unit may comprise separately
assessed components.
Glossary

Arrangements for candidates with particular assessment

requirements

Special arrangements Arrangements which are approved in advance of an

examination or assessment to allow attainment to be
demonstrated by candidates with either a permanent or
long-term disability or learning difficulty, or a
temporary disability, illness or indisposition.

Special consideration Procedures which provide some compensation for

candidates who have suffered temporary illness, injury
or indisposition at the time of the examination.

Enquiries and appeals

Appeal A process through which an awarding body may be

challenged on the outcome of an enquiry about results
or, where appropriate, other procedural decision
affecting a centre or individual candidates.

Enquiry about results A process through which an awarding body may be

asked to check one or more of the steps leading to a
reported result.

60
 GCSE

GCSE in
vocational
subjects

About this publication

GCE
Who’s it for? This document is for awarding bodies and associated
organisations involved in the delivery of GCSE, GCSE in
vocational subjects, GCE, VCE, GNVQ and AEA
qualifications.
VCE
What’s it about? This document specifies the processes and procedures
required to ensure high quality, consistency and rigorous
standards in assessment and awarding.
GNVQ
It replaces The GCSE, GCSE in vocational subjects, GCE, VCE and
GNVQ code of practice 2003/4 (May 2003) and QCA
website version 2 (5 August 2003)

Related material The statutory regulation of external qualifications in AEA

England, Wales and Northern Ireland

What’s it for? The code of practice is designed to promote quality,

consistency and fairness in all GCSE, GCSE in vocational
subjects, GCE, VCE, GNVQ and AEA qualifications.

What next? The regulatory authorities will continue to keep this code
of practice under review to ensure it continues to reflect
best practice.

This publication has been sent to:

Awarding bodies, Joint Council for Qualifications

For more information, contact:

Central Enquiries Team, QCA 020 7509 5555

For more copies, contact:

QCA Publications, PO Box 99, Sudbury, Suffolk CO10 2SN
(tel: 01787 884444; fax: 01787 312950)

Order ref: QCA/04/1282